Skip to main content
WeiMindWeiMind
ChineseView Course
Quant Radar

Content Formats

Regulation and Enforcement Latest Activity

Public consultations, enforcement actions, penalties, and risk alerts.

66 related activitiesLast 30 days 54 itemsFeatured among them 2 items

Updated

Activity Archive · Page 4 页

3 AugMonIssue 61–66 items
  1. FINRA: Regulatory Notices29

    FINRA Issues Reminder Notice on 2026 Continuing Education Requirements

    FINRA has issued an informational notice reminding registered persons and firms to comply with continuing education requirements. The 2026 Regulatory Element training must be completed by December 31, 2026; registered persons who fail to complete it on time will be automatically marked as CE inactive. Firms may set internal completion deadlines earlier than the official deadline in FINRA Gateway, and can also schedule automatic notifications to remind registered persons. FINRA also provides the FLEX online content catalog and supporting tools to assist firms in developing written continuing education training plans.

    Read original
31 JulFri
  1. HKEX: Market Communications32

    HKEX Report on Initial Public Offering Applications, Delistings and Trading Suspensions for July 2026

    HKEX has released its monthly regulatory statistics report on IPO applications, delistings and trading suspensions for July 2026. As of July 31, 2026, the total number of listed companies on HKEX reached 2,763, and 838 IPO applications have been processed since 2026, of which 131 have completed listing. The report also discloses the median processing time for various listing application documents in July, as well as statistics on the time taken for relevant listing processes in the 12 months ending July 31, 2026.

    Read original
30 JulThu
24 JulFri
17 JulFri
  1. HKEX: Market Communications40

    HKEX to support RMB settlement of stamp duty and trading-related fees

    The Hong Kong SAR Government has gazetted the Stamp Duty (Amendment) (No. 2) Ordinance 2026, which stipulates that stamp duty for trades executed on the RMB counter of dual-counter stocks will be calculated and paid in RMB. HKEX will also promote RMB settlement of trading-related fees, including the SFC transaction levy, the FSTB transaction levy, the Investor Compensation Levy (currently suspended), and SEHK trading fees. The new arrangement will take effect only after the Hong Kong SAR Government issues an effective notice, obtains regulatory approval, and completes market preparations. Specific operational arrangements and target implementation timelines will be announced later.

    Read original
9 JulThu
  1. FINRA: Regulatory Notices47

    FINRA Seeks Public Comment on Proposal to Modernize Rule 2210 (Communications with the Public)

    FINRA has issued Regulatory Notice 26-14, seeking public comment on a proposal to modernize Rule 2210 (Communications with the Public). The proposal aims to replace the existing explicit requirement for pre-use approval by a principal with a modern, risk-based regulatory standard, while also simplifying the standards for retail communication filings and communications containing recommendations. Public comments must be submitted by September 11, 2026, and all received comments will be published on the FINRA website.

    Read original